If I subscribe do I need to update my ADV?
You should consult with your firm's compliance professionals. However, with the CataSelect subscription service we do not believe your compliance profile changes in a way that necessitates updating your ADV. You continue to have discretion and fiduciary responsibility for your clients.
What if I only wish to use one of your strategies?
As a subscriber to CataSelect your will have complete access to all three methodologies and their underlying strategies as well as their supporting sales and communication publications. You may use them individually or in any combination.
How do I know what to trade?
Our capital markets team will email you a trade file that will clearly lay out the suggested trades for each strategy. You will receive a monthly trade file for the tactical strategies and a quarterly trade file for the Structured and Adaptive strategies.
What are my disclosure responsibilities if I white-label your sales and communication publications?
You should consult with your firm's compliance professionals. However, we believe you retain full responsibility for the disclosures on publications that carry your firm's branding. We have developed generic, suggested language that your firm's compliance professionals should review and modify to reflect your firm's specific disclosure needs. Our compliance experts are available to discuss with you further.
How frequently do your strategies trade?
The Tactical strategies trade episodically, meaning that they go for long periods with very few or no trades followed by periods of high volatility where the whole portfolio may turnover in a month. The Structured and Adaptive strategies trade quarterly.
What types of securities do you use in your models?
We exclusively use exchange traded funds. We do not use exotic such as levered ETFs or inverse ETFs.